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Home Policy Priorities Fund Regulation CFTC Rule 4.5

  • ICI Files Comment Letter with CFTC on "Project KISS" (pdf)
    Sep 28, 2017
  • ICI Files Comment Letter on CFTC Recordkeeping Proposal (pdf)
    Mar 20, 2017
  • ICI Files Comment Letter on CFTC Proposal to Amend Recordkeeping Requirements for DCM and SEF Members (pdf)
    Jan 13, 2015
  • ICI and Other Trade Associations Submit Amended Letter to CFTC Staff Requesting Relief to Net Uncleared Swaps (pdf)
    Sep 3, 2014
  • ICI Submits Second Letter Seeking Clarifications on Final Harmonization Rules for Registered Fund Advisers That Are Commodity Pool Operators
    Sep 24, 2013
  • ICI Submits Follow-Up Letter to CFTC Staff Regarding Certain SEC Exemptive orders and No-Action Letters; NFA Makes Amended Compliance Rule 2-45 Effective
    Sep 16, 2013
  • ICI Letter to CFTC Staff Seeks Clarification of Final Harmonization Rules for Registered Fund Advisers That Are Commodity Pool Operators (pdf)
    Aug 28, 2013
  • Supplemental Filing In Lawsuit Challenging Rule 4.5 Amendments (pdf)
    Jun 17, 2013
  • ICI and IAA Submit Proposed FAQs to the CFTC and NFA on Forms CPO-PQR, CTA-PR, NFA Form PQR, and NFA Form PR (pdf)
    Jun 7, 2013
  • ICI and SIFMA AMG Request Confirmation from CFTC and NFA Regarding Reporting Obligations of Funds' Wholly-Owned Subsidiaries (pdf)
    Apr 10, 2013
  • ICI Submits Request to CFTC Staff for Fund of Funds Guidance (pdf)
    Feb 26, 2013
  • Mutual Fund Directors Forum and Former SEC Commissioners and Senior Officials File Amicus Brief in Support of ICI, Chamber (pdf)
    Feb 6, 2013
  • ICI, U.S. Chamber Brief Filed in Appeal Challenging CFTC Rule (pdf)
    Jan 30, 2013
  • Compliance with Registration Requirements Under Amended Regulations 4.5 and 4.13(a)(3) (pdf)
    Jan 25, 2013
  • Order Granting Expedited Consideration of Appeal in Lawsuit Challenging CFTC Amendments to Rule 4.5
    Jan 15, 2013
  • ICI, U.S. Chamber File Motion for Expedited Consideration of Appeal in Lawsuit Challenging CFTC Amendments to Rule 4.5 (pdf)
    Jan 3, 2013
  • NFA Regulations as Applied to Registered Investment Companies and Their Advisers (pdf)
    Dec 28, 2012
  • Application of NFA Rules to Registered Investment Companies Unable to Rely on CFTC Rule 4.5 and their Advisers (pdf)
    Dec 28, 2012
  • NFA Compliance Rule 2-45 (pdf)
    Dec 21, 2012
  • CFTC Regulation 4.20(c) (pdf)
    Dec 21, 2012
  • Request for Temporary Registration Relief for Commodity Pool Operators and Commodity Trading Advisors that Must Register as a Result of Amended CFTC Regulation 4.5 (pdf)
    Dec 20, 2012
  • Regulation 4.5 Harmonization (pdf)
    Nov 29, 2012
  • Focus on Funds: ICI Responds in Rule 4.5 Lawsuit
    Jul 6, 2012
  • ICI, Chamber File Reply Brief in Lawsuit Challenging Amendments to Rule 4.5 (pdf)
    Jul 2, 2012
  • ICI Files Comment Letter and Cost-Benefit Analysis on CFTC Rule 4.5 Harmonization Proposal (pdf)
    Apr 24, 2012
  • History of Rule 4.5 (pdf)
    Apr 17, 2012
  • Rule 4.5: Mutual Funds and Their Investors Benefit from Commodity Investments and Other Derivatives (pdf)
    Apr 17, 2012
  • CFTC's Cost-Benefit Analysis on Rule 4.5 Amendments: Insufficient, Incomplete, and "Unlikely [to] Survive Judicial Scrutiny" (pdf)
    Apr 17, 2012
  • Higher Cost and Fewer Choices: Rule 4.5's Impact on Investors (pdf)
    Apr 17, 2012
  • CFTC's Rule 4.5 is Government Regulation at Its Worst: A Flawed Process Produces a Flawed Rule that Increases Investors' Costs (pdf)
    Apr 17, 2012
  • Clouds Overhead: Financial Regulation After the Crisis
    Mar 19, 2012
  • ICI Comment Letter: Follow-up to July 6, 2011 Roundtable on CFTC Proposal to Amend Rule 4.5 (pdf)
    Jul 28, 2011
  • ICI Comment Letter on CFTC Proposal to Narrow Rule 4.5 Exclusion for Funds (pdf)
    Apr 12, 2011
  • ICI and IDC Comment Letters on CFTC Proposal to Narrow Rule 4.5 Exclusion for Funds
    Apr 12, 2011
  • ICI Letter On NFA Petition To Narrow CFTC Rule 4.5 Exclusion For REGISTERED Investment Companies (pdf)
    Oct 18, 2010
  • ICI COMMENT LETTER ON PROPOSED AMENDMENTS TO CFTC RULE 4.5 (pdf)
    Apr 29, 2003

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